26th Nov 2008 10:52
|
FORM 38.5(a) |
|
DEALINGS BY CONNECTED EXEMPT PRINCIPAL TRADERS |
|
WITH RECOGNISED INTERMEDIARY STATUS |
|
DEALING IN A CLIENT-SERVING CAPACITY |
|
(Rule 38.5(a) of the Takeover Code) |
|
1. KEY INFORMATION |
|
Name of exempt principal trader |
Merrill Lynch International |
|
Company dealt in |
BHP Billiton Plc |
|
Class of relevant security to which the |
Common |
|
dealings being disclosed relate |
|
Date of dealing |
25/11/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
11,808,002 |
GBP 11.73 |
GBP 10.28 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
12,389,698 |
GBP 11.73 |
GBP 10.24 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
10,551 |
GBP 10.74 |
|
Long Swap |
LONG |
1,406,077 |
GBP 11.10 |
|
Long Swap |
LONG |
668,755 |
GBP 11.12 |
|
Long Swap |
LONG |
62,854 |
GBP 11.18 |
|
Long Swap |
LONG |
35,618 |
GBP 10.64 |
|
Long Swap |
LONG |
34,158 |
GBP 11.18 |
|
Long Swap |
LONG |
33,959 |
GBP 11.29 |
|
Long Swap |
LONG |
33,430 |
GBP 11.29 |
|
Long Swap |
LONG |
31,858 |
GBP 10.91 |
|
Long Swap |
LONG |
20,000 |
GBP 11.01 |
|
Long Swap |
LONG |
18,707 |
GBP 11.29 |
|
Long Swap |
LONG |
735 |
GBP 11.29 |
|
Long Swap |
LONG |
14,399 |
GBP 11.29 |
|
Long Swap |
LONG |
8,355 |
GBP 10.72 |
|
Long Swap |
LONG |
7,302 |
GBP 10.91 |
|
Long Swap |
LONG |
7,000 |
GBP 10.67 |
|
Long Swap |
LONG |
5,000 |
GBP 10.92 |
|
Long Swap |
LONG |
3,300 |
GBP 11.57 |
|
Long Swap |
LONG |
3,158 |
GBP 10.72 |
|
Long Swap |
LONG |
2,489 |
GBP 11.17 |
|
Long Swap |
LONG |
1,907 |
GBP 11.29 |
|
Long Swap |
LONG |
1,641 |
GBP 10.65 |
|
Long Swap |
LONG |
1,231 |
GBP 11.29 |
|
Long Swap |
LONG |
890 |
GBP 10.64 |
|
Long Swap |
LONG |
18,224 |
GBP 10.93 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
54,080 |
GBP 11.45 |
|
Short Swap |
SHORT |
1,421,327 |
GBP 11.10 |
|
Short Swap |
SHORT |
11,679 |
GBP 11.27 |
|
Short Swap |
SHORT |
1,100 |
GBP 11.73 |
|
Short Swap |
SHORT |
1,641 |
GBP 11.16 |
|
Short Swap |
SHORT |
2,134 |
GBP 10.87 |
|
Short Swap |
SHORT |
4,374 |
GBP 11.39 |
|
Short Swap |
SHORT |
5,000 |
GBP 10.89 |
|
Short Swap |
SHORT |
6,300 |
GBP 10.81 |
|
Short Swap |
SHORT |
7,000 |
GBP 10.64 |
|
Short Swap |
SHORT |
8,355 |
GBP 11.16 |
|
Short Swap |
SHORT |
8,529 |
GBP 11.10 |
|
Short Swap |
SHORT |
9,229 |
GBP 11.27 |
|
Short Swap |
SHORT |
10,000 |
GBP 10.81 |
|
Short Swap |
SHORT |
656,518 |
GBP 11.16 |
|
Short Swap |
SHORT |
10,551 |
GBP 10.66 |
|
Short Swap |
SHORT |
57,000 |
GBP 11.32 |
|
Short Swap |
SHORT |
13,006 |
GBP 11.27 |
|
Short Swap |
SHORT |
13,322 |
GBP 11.10 |
|
Short Swap |
SHORT |
13,712 |
GBP 11.27 |
|
Short Swap |
SHORT |
15,000 |
GBP 11.68 |
|
Short Swap |
SHORT |
16,611 |
GBP 11.27 |
|
Short Swap |
SHORT |
18,224 |
GBP 11.39 |
|
Short Swap |
SHORT |
18,700 |
GBP 10.81 |
|
Short Swap |
SHORT |
20,000 |
GBP 10.97 |
|
Short Swap |
SHORT |
34,158 |
GBP 11.37 |
|
Short Swap |
SHORT |
35,270 |
GBP 11.27 |
|
Short Swap |
SHORT |
42,912 |
GBP 10.62 |
|
Short Swap |
SHORT |
1,024 |
GBP 10.66 |
|
Short Swap |
SHORT |
10,284 |
GBP 11.16 |
|
(c) Options transactions in respect of existing securities |
|
Product name |
Writing, |
Number of |
Exercise |
Type, e.g. |
Expiry |
Option |
|
selling, |
securities under |
price |
American, |
date |
money |
|
eg call option |
purchasing, |
option |
European etc |
paid/received |
|
varying etc. |
per unit |
|
Call option |
purchase |
470 |
10.5 |
American |
19 Dec 08 |
1.51 |
||||
|
Call option |
purchase |
150 |
13 |
American |
19 Dec 08 |
0.57 |
|
(ii) Exercising |
|
Product name |
Number of securities under |
Exercise price |
|
eg call option |
option |
|
3. OTHER INFORMATION |
|
Agreements, arrangements or understandings relating to options or derivatives |
|
Full details of any agreement, arrangement or understanding between the person disclosing and any |
|
other person relating to the voting rights of any relevant securities under any option referred to on this |
|
form or relating to the voting rights or future acquisition or disposal of any relevant securities to which |
|
any derivative referred to on this form is referenced. If none, this should be stated. |
|
NONE |
|
Date of disclosure |
26/11/2008 |
|
Contact name |
Bhavika Mistry |
|
Telephone number |
+44 207 995 4747 |
|
Name of offeree/offeror with whom connected |
BHP Billiton Plc |
|
Nature of connection # |
Advisor |
|
FORM 38.5(a) |
|
DEALINGS BY CONNECTED EXEMPT PRINCIPAL TRADERS |
|
WITH RECOGNISED INTERMEDIARY STATUS |
|
DEALING IN A CLIENT-SERVING CAPACITY |
|
(Rule 38.5(a) of the Takeover Code) |
|
1. KEY INFORMATION |
|
Name of exempt principal trader |
Merrill Lynch International |
|
Company dealt in |
Ennstone Plc |
|
Class of relevant security to which the |
Common |
|
dealings being disclosed relate |
|
Date of dealing |
25/11/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
170,500 |
GBP 0.02 |
GBP 0.02 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
(c) Options transactions in respect of existing securities |
|
Product name |
Writing, |
Number of |
Exercise |
Type, e.g. |
Expiry |
Option money |
|
selling, |
securities under |
price |
American, |
date |
|
eg call option |
purchasing, |
option |
European etc |
paid/received |
|
varying etc. |
per unit |
|
(ii) Exercising |
|
Product name |
Number of securities under |
Exercise price |
|
eg call option |
option |
|
3. OTHER INFORMATION |
|
Agreements, arrangements or understandings relating to options or derivatives |
|
Full details of any agreement, arrangement or understanding between the person disclosing and any |
|
other person relating to the voting rights of any relevant securities under any option referred to on this |
|
form or relating to the voting rights or future acquisition or disposal of any relevant securities to which |
|
any derivative referred to on this form is referenced. If none, this should be stated. |
|
NONE |
|
Date of disclosure |
26/11/2008 |
|
Contact name |
Bhavika Mistry |
|
Telephone number |
+44 207 995 4747 |
|
Name of offeree/offeror with whom connected |
Marwyn Materials Limited |
|
Nature of connection # |
Advisor |
|
FORM 38.5(a) |
|
DEALINGS BY CONNECTED EXEMPT PRINCIPAL TRADERS |
|
WITH RECOGNISED INTERMEDIARY STATUS |
|
DEALING IN A CLIENT-SERVING CAPACITY |
|
(Rule 38.5(a) of the Takeover Code) |
|
1. KEY INFORMATION |
|
Name of exempt principal trader |
Merrill Lynch International |
|
Company dealt in |
Axon Group Plc |
|
Class of relevant security to which the |
Common |
|
dealings being disclosed relate |
|
Date of dealing |
25/11/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
12,400 |
GBP 6.45 |
GBP 6.44 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
7,017 |
GBP 6.45 |
GBP 6.42 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
6,409 |
GBP 6.44 |
|
Long Swap |
LONG |
1,075 |
GBP 6.43 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
98 |
GBP 6.44 |
|
Short Swap |
SHORT |
384 |
GBP 6.44 |
|
Short Swap |
SHORT |
1,072 |
GBP 6.43 |
|
Short Swap |
SHORT |
3,826 |
GBP 6.43 |
|
(c) Options transactions in respect of existing securities |
|
Product name |
Writing, |
Number of |
Exercise |
Type, e.g. |
Expiry |
Option |
|
selling, |
securities under |
price |
American, |
date |
money |
|
eg call option |
purchasing, |
option |
European etc |
paid/received |
|
varying etc. |
per unit |
|
(ii) Exercising |
|
Product name |
Number of securities under |
Exercise price |
|
eg call option |
option |
|
3. OTHER INFORMATION |
|
Agreements, arrangements or understandings relating to options or derivatives |
|
Full details of any agreement, arrangement or understanding between the person disclosing and any |
|
other person relating to the voting rights of any relevant securities under any option referred to on this |
|
form or relating to the voting rights or future acquisition or disposal of any relevant securities to which |
|
any derivative referred to on this form is referenced. If none, this should be stated. |
|
NONE |
|
Date of disclosure |
26/11/2008 |
|
Contact name |
Bhavika Mistry |
|
Telephone number |
+44 207 995 4747 |
|
Name of offeree/offeror with whom connected |
HCL EAS Limited |
|
Nature of connection # |
Advisor |
|
FORM 38.5(a) |
|
DEALINGS BY CONNECTED EXEMPT PRINCIPAL TRADERS |
|
WITH RECOGNISED INTERMEDIARY STATUS |
|
DEALING IN A CLIENT-SERVING CAPACITY |
|
(Rule 38.5(a) of the Takeover Code) |
|
1. KEY INFORMATION |
|
Name of exempt principal trader |
Merrill Lynch International |
|
Company dealt in |
Rio Tinto Plc |
|
Class of relevant security to which the |
Common |
|
dealings being disclosed relate |
|
Date of dealing |
25/11/2008 |
|
2. DEALINGS |
|
(a) Purchases and sales |
|
Total number of securities |
Highest price paid |
Lowest price paid |
|
purchased |
|
13,653,257 |
GBP 46.00 |
GBP 0.02 |
|
Total number of securities sold |
Highest price received |
Lowest price received |
|
13,438,966 |
GBP 17.49 |
GBP 14.15 |
|
(b) Derivatives transactions (other than options) |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Long Swap |
LONG |
10,026 |
GBP 16.17 |
|
Long Swap |
LONG |
1,237,722 |
GBP 15.76 |
|
Long Swap |
LONG |
306,452 |
GBP 15.84 |
|
Long Swap |
LONG |
236,845 |
GBP 15.56 |
|
Long Swap |
LONG |
163,155 |
GBP 15.56 |
|
Long Swap |
LONG |
349 |
GBP 15.69 |
|
Long Swap |
LONG |
10,339 |
GBP 14.53 |
|
Long Swap |
LONG |
10,000 |
GBP 15.47 |
|
Long Swap |
LONG |
7,334 |
GBP 15.76 |
|
Long Swap |
LONG |
6,000 |
GBP 15.43 |
|
Long Swap |
LONG |
3,428 |
GBP 16.11 |
|
Long Swap |
LONG |
2,500 |
GBP 15.87 |
|
Long Swap |
LONG |
2,347 |
GBP 15.48 |
|
Long Swap |
LONG |
919 |
GBP 15.48 |
|
Long Swap |
LONG |
910 |
GBP 15.48 |
|
Long Swap |
LONG |
19,000 |
GBP 14.57 |
|
Product name, |
Short/Long |
Number of securities |
Price per unit |
|
eg. CFD |
|
Short Swap |
SHORT |
16,000 |
GBP 16.98 |
|
Short Swap |
SHORT |
1,239,690 |
GBP 15.75 |
|
Short Swap |
SHORT |
299,454 |
GBP 15.81 |
|
Short Swap |
SHORT |
163,155 |
GBP 17.01 |
|
Short Swap |
SHORT |
3,899 |
GBP 14.15 |
|
Short Swap |
SHORT |
349 |
GBP 16.21 |
|
Short Swap |
SHORT |
919 |
GBP 16.00 |
|
Short Swap |
SHORT |
1,139 |
GBP 15.51 |
|
Short Swap |
SHORT |
1,640 |
GBP 16.18 |
|
Short Swap |
SHORT |
1,675 |
GBP 15.82 |
|
Short Swap |
SHORT |
1,705 |
GBP 14.15 |
|
Short Swap |
SHORT |
2,429 |
GBP 16.00 |
|
Short Swap |
SHORT |
2,500 |
GBP 15.92 |
|
Short Swap |
SHORT |
29,551 |
GBP 15.51 |
|
Short Swap |
SHORT |
3,500 |
GBP 14.15 |
|
Short Swap |
SHORT |
27,368 |
GBP 16.68 |
|
Short Swap |
SHORT |
4,466 |
GBP 15.62 |
|
Short Swap |
SHORT |
4,884 |
GBP 14.15 |
|
Short Swap |
SHORT |
6,000 |
GBP 15.53 |
|
Short Swap |
SHORT |
7,527 |
GBP 14.15 |
|
Short Swap |
SHORT |
7,910 |
GBP 15.81 |
|
Short Swap |
SHORT |
8,017 |
GBP 14.15 |
|
Short Swap |
SHORT |
8,151 |
GBP 16.21 |
|
Short Swap |
SHORT |
12 |
GBP 16.21 |
|
Short Swap |
SHORT |
3,428 |
GBP 16.15 |
|
(c) Options transactions in respect of existing securities |
|
(i) Writing, selling, purchasing or varying |
|
Product name |
Writing, |
Number of |
Exercise |
Type, e.g. |
Expiry date |
Option |
|
selling, |
securities under |
price |
American, |
money |
|
eg call option |
purchasing, |
option |
European etc |
paid/received |
|
varying etc. |
per unit |
|
Warrant |
Selling |
-10,000 |
£0.02 |
AMERICAN |
19-Jun-09 |
|
(ii) Exercising |
|
Product name |
Number of securities under |
Exercise price |
|
eg call option |
option |
|
3. OTHER INFORMATION |
|
Agreements, arrangements or understandings relating to options or derivatives |
|
Full details of any agreement, arrangement or understanding between the person disclosing and any |
|
other person relating to the voting rights of any relevant securities under any option referred to on this |
|
form or relating to the voting rights or future acquisition or disposal of any relevant securities to which |
|
any derivative referred to on this form is referenced. If none, this should be stated. |
|
NONE |
|
Date of disclosure |
26/11/2008 |
|
Contact name |
Bhavika Mistry |
|
Telephone number |
+44 207 995 4747 |
|
Name of offeree/offeror with whom connected |
BHP Billiton Plc |
|
Nature of connection # |
Advisor |
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